Robert A. Lockery

GANIM PRIVATE WEALTH

Shelton, CT 06484

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CRD#: 2687139

Professional summary

Robert Alan Lockery JR, AIF®, who also goes by Robert A Lockery, Robert Alan Lockery, is a registered financial advisor currently at GANIM PRIVATE WEALTH located in Shelton, Connecticut.

Robert is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1996. Robert has worked at 12 firms and has passed the Series 66, Series 63, SIE, Series 7, Series 6 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Robert A Lockery | Robert Alan Lockery

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Robert Alan Lockery JR's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

AIF^®

Accredited Investment Fiduciary

Experience

Current

July 26, 2017 - Present

GANIM PRIVATE WEALTH

Office #1: 2 Enterprise Drive Suite 305, Shelton, CT 06484

RIA

CRD#: 285679

Shelton, CT

Past

September 19, 2016 - July 26, 2017

KESTRA ADVISORY SERVICES, LLC

RIA

CRD#: 283330

Austin, TX

Past

September 19, 2016 - February 12, 2018

KESTRA INVESTMENT SERVICES, LLC

CRD#: 42046

BRIDGEPORT, CT

Past

August 31, 2015 - September 7, 2016

MML INVESTORS SERVICES, LLC

RIA

CRD#: 10409

Hamden, CT

Past

August 13, 2015 - September 7, 2016

MML INVESTORS SERVICES, LLC

CRD#: 10409

Hamden, CT

Past

May 31, 2013 - July 23, 2015

PARK AVENUE SECURITIES LLC

RIA

CRD#: 46173

MADISON, CT

Past

December 13, 2012 - July 23, 2015

PARK AVENUE SECURITIES LLC

CRD#: 46173

MADISON, CT

Past

October 11, 2011 - November 20, 2012

EQUITABLE ADVISORS, LLC

RIA

CRD#: 6627

MILFORD, CT

Past

October 11, 2011 - November 20, 2012

EQUITABLE ADVISORS, LLC

CRD#: 6627

MILFORD, CT

Past

January 20, 2011 - August 19, 2011

MORGAN STANLEY

RIA

CRD#: 149777

NEW HAVEN, CT

Past

October 12, 2010 - August 19, 2011

MORGAN STANLEY

CRD#: 149777

NEW HAVEN, CT

Past

December 18, 2002 - October 5, 2010

PRINCIPAL SECURITIES, INC.

CRD#: 1137

PURCHASE, NY

Past

July 14, 1998 - December 17, 2002

PPI EMPLOYEE BENEFITS CORPORATION

CRD#: 28970

MIDDLETOWN, CT

Past

April 8, 1997 - March 24, 1998

SECURIAN FINANCIAL SERVICES, INC.

CRD#: 15296

ST. PAUL, MN

Past

March 8, 1996 - April 4, 1997

JOHN HANCOCK MUTUAL LIFE INSURANCE COMPANY

CRD#: 5181

BOSTON, MA

Past

March 8, 1996 - April 4, 1997

SIGNATOR INVESTORS, INC.

CRD#: 468

BOSTON, MA

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

GANIM PRIVATE WEALTH

GANIM PRIVATE WEALTH | GFS WEALTH MANAGEMENT ADVISORS, INC. DBA GANIM FINANCIAL | GFS WEALTH MANAGEMENT ADVISORS, INC. | GFS WEALTH MANAGEMENT ADVISORS INC

CRD#: 285679 / SEC#: 801-120943

RIA

Registered Investment Advisory firm - (4/23/2021 Approved)

Connecticut

Registered Investment Advisory firm - (7/27/2021 Terminated)

Florida

Registered Investment Advisory firm - (7/1/2021 Terminated)

New York

Registered Investment Advisory firm - (7/1/2021 Terminated)

Texas

Registered Investment Advisory firm - (7/1/2021 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

Connecticut
(7/26/2017)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 66

Date: 1/18/2011

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 1/23/1996

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 2/12/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 3/14/2005

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 3/7/1996

Investment Company Products/Variable Contracts Representative Examination

Principal/Supervisory Exam

Series 24

Date: 11/16/2011

General Securities Principal Examination

Current Firm

GANIM PRIVATE WEALTH

GANIM PRIVATE WEALTH | GFS WEALTH MANAGEMENT ADVISORS, INC. DBA GANIM FINANCIAL | GFS WEALTH MANAGEMENT ADVISORS, INC. | GFS WEALTH MANAGEMENT ADVISORS INC

CRD#: 285679 / SEC#: 801-120943

RIA

Registered Investment Advisory firm - (4/23/2021 Approved)

Connecticut

Registered Investment Advisory firm - (7/27/2021 Terminated)

Florida

Registered Investment Advisory firm - (7/1/2021 Terminated)

New York

Registered Investment Advisory firm - (7/1/2021 Terminated)

Texas

Registered Investment Advisory firm - (7/1/2021 Terminated)

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Contact information

Main Address

2 Enterprise Drive Suite 305, Shelton, CT 06484

Mailing Address

Phone number

(203) 335-0851

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (5 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

WRAP BROCHURE - GFS WEALTH MANAGEMENT ADVISORS, INC. (3/20/2025)

ADV PART 2A - GFS WEALTH MANAGEMENT ADVISORS, INC. (3/20/2025)

Regulatory assets under management

Total Number of Accounts	42
AUM (Assets Under Management)	$ 261,980,766

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

Contact information

(xxx) xxx-xxxx

xxxxx@xxxx.xxx

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Robert A. Lockery

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Robert Alan Lockery JR's CRS (Customer Relationship Summary).

Certified licenses

Experience

KESTRA ADVISORY SERVICES, LLC

KESTRA INVESTMENT SERVICES, LLC

MML INVESTORS SERVICES, LLC

MML INVESTORS SERVICES, LLC

PARK AVENUE SECURITIES LLC

PARK AVENUE SECURITIES LLC

EQUITABLE ADVISORS, LLC

EQUITABLE ADVISORS, LLC

MORGAN STANLEY

MORGAN STANLEY

PRINCIPAL SECURITIES, INC.

PPI EMPLOYEE BENEFITS CORPORATION

SECURIAN FINANCIAL SERVICES, INC.

JOHN HANCOCK MUTUAL LIFE INSURANCE COMPANY

SIGNATOR INVESTORS, INC.

Primary Firm SEC Registration

GANIM PRIVATE WEALTH

State Registrations and Notice Filings

Exams

Series 66

Date: 1/18/2011

Series 63

Date: 1/23/1996

SIE

Date: 2/12/2018

Series 7

Date: 3/14/2005

Series 6

Date: 3/7/1996

Series 24

Date: 11/16/2011

Current Firm

GANIM PRIVATE WEALTH

Contact information

SEC notice filing (5 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

GANIM PRIVATE WEALTH

TRUST BUT VERIFY

Contact information

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